Form 8.5 (EPT/NON-RI) HARGREAVES LANSDOWN PLC

Barclays PLC

11 July 2024

 

FORM 8.5 (EPT/NON-RI)
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN
EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS
(OR WHERE RI STATUS IS NOT APPLICABLE)
Rule 8.5 of the Takeover Code (the "Code")
1.	KEY INFORMATION
(a)	Name of exempt principal trader:			BARCLAYS CAPITAL SECURITIES LTD
(b)	Name of offeror/offeree in relation to whose  relevant securities this form relates:			HARGREAVES LANSDOWN PLC
(c)	Name of the party to the offer with which exempt  principal trader is connected			HARGREAVES LANSDOWN PLC
(d)	Date position held/dealing undertaken:			10 Jul 2024
(e)	In addition to the company in 1(b) above, is the exempt principal  trader making disclosures in respect of any other party to the offer?			NO
2.	POSITIONS OF THE EXEMPT PRINCIPAL TRADER
(a)	Interests and short positions in the relevant securities of the offeror or offeree
	to which the disclosure relates following the dealing (if any)
Class of relevant security:				0.4p ordinary
				Interests		Short Positions
				Number	(%)	Number	(%)
(1) Relevant securities owned and/or controlled:				809,380	0.17%	4,755,638	1.00%
(2) Cash-settled derivatives:				4,631,297	0.98%	624,398	0.13%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				5,440,677	1.15%	5,380,036	1.13%
(b)	Rights to subscribe for new securities (including directors and other executive options)
Class of relevant security in relation to  which subscription right exists
Details, including nature of the rights  concerned and relevant percentages:
3.	DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER
(a)	Purchase and sales
Class of relevant  security	Purchase/sale	Total number of  securities	Highest price per unit  paid/received	Lowest price per unit  paid/received
0.4p ordinary	Purchase	315019	11.0000  GBP	10.9450  GBP
0.4p ordinary	Sale	167042	11.0164  GBP	10.9452  GBP
(b)	Cash-settled derivative transactions
Class of  relevant  security	Product  description	Nature of dealing	Number of  reference  securities	Price per  unit
0.4p ordinary	SWAP	Decreasing Short	1,900	10.9600  GBP
0.4p ordinary	CFD	Increasing Short	685	10.9556  GBP
0.4p ordinary	CFD	Increasing Short	17,074	10.9600  GBP
0.4p ordinary	SWAP	Increasing Short	102	11.0000  GBP
0.4p ordinary	SWAP	Increasing Long	8,203	10.9600  GBP
0.4p ordinary	SWAP	Increasing Long	275	10.9874  GBP
0.4p ordinary	SWAP	Increasing Long	567	11.0043  GBP
0.4p ordinary	SWAP	Increasing Long	491	11.0164  GBP
0.4p ordinary	SWAP	Decreasing Long	37,809	10.9558  GBP
0.4p ordinary	SWAP	Decreasing Long	11,336	10.9599  GBP
0.4p ordinary	SWAP	Decreasing Long	16,652	10.9606  GBP
0.4p ordinary	SWAP	Decreasing Long	1,756	10.9874  GBP
0.4p ordinary	SWAP	Increasing Long	403	10.9599  GBP
0.4p ordinary	SWAP	Increasing Long	1,035	11.0076  GBP
0.4p ordinary	SWAP	Decreasing Long	384	10.9557  GBP
0.4p ordinary	SWAP	Decreasing Long	4,073	10.9575  GBP
0.4p ordinary	SWAP	Decreasing Long	24,403	10.9600  GBP
0.4p ordinary	SWAP	Decreasing Long	655	10.9624  GBP
0.4p ordinary	SWAP	Decreasing Long	2,525	10.9625  GBP
0.4p ordinary	SWAP	Decreasing Long	3,351	10.9637  GBP
0.4p ordinary	SWAP	Decreasing Long	322	10.9650  GBP
0.4p ordinary	SWAP	Increasing Long	163	10.9452  GBP
0.4p ordinary	SWAP	Decreasing Long	7,324	10.9600  GBP
0.4p ordinary	SWAP	Decreasing Long	26,986	10.9614  GBP
(c)	Stock-settled derivative transactions  (including options)
(i)	Writing, selling, purchasing or varying
Class  of  relevant  security	Product  description	Writing,  purchasing,  selling,  varying etc	Number  of  securities  to which  option  relates	Exercise  price  per unit	Type	Expiry  date	Option  money  paid/  received  per unit
(ii)	Exercising
Class of relevant  security	Product description	Exercising/ exercised against	Number of  securities	Exercise price per  unit
(d)	Other dealings (including subscribing for new securities)
Class of relevant  security	Nature of Dealings	Details	Price per unit (if  applicable)
4.	OTHER INFORMATION
(a)	Indemnity and other dealings arrangements
Details of any indemnity or option arrangement, or any agreement or understanding,  formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by  the exempt principal trader making the disclosure and any party  to the offer or any person acting in concert with a party to the offer:
NONE
(b)	Agreements, arrangements or understandings relating to options or derivatives
Details of any agreement, arrangement or understanding, formal or informal, between  the exempt principal trader making the disclosure and any other person relating to:  (i)   the voting rights of any relevant securities under any option; or  (ii)   the voting rights of future acquisition or disposal of any relevant securities to which  any derivative is referenced:
NONE
(c)	Attachments
Is a Supplemental Form 8 (Open Positions) attached?				NO
Date of disclosure:				11 Jul 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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